Aaron D. Shapley

FRANKLIN DISTRIBUTORS

Stamford, CT 06902

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CRD#: 3200807

Professional summary

Aaron David Shapley, CIMA® is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 1999. Aaron has worked at 10 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 51, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Aaron David Shapley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 First Stamford Place, Stamford, CT 06902

CRD#: 109064

Stamford, CT

Past

November 9, 2017 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

SAN MATEO, CA

Past

September 8, 2017 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

March 20, 2015 - August 9, 2017

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

AUSTIN, TX

Past

March 17, 2015 - August 9, 2017

DFA SECURITIES LLC

CRD#: 10292

AUSTIN, TX

Past

May 3, 2007 - March 3, 2015

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PRINCETON, NJ

Past

May 3, 2007 - March 3, 2015

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

August 17, 2005 - May 2, 2007

CETERA ADVISORS LLC

RIA

CRD#: 10299

PHOENIX, AZ

Past

May 30, 2005 - May 2, 2007

CETERA ADVISORS LLC

CRD#: 10299

PHOENIX, AZ

Past

January 24, 2000 - August 13, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 11, 1999 - August 23, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/7/2021)

Alaska
(7/7/2021)

Arizona
(7/7/2021)

Arkansas
(7/7/2021)

California
(7/7/2021)

Colorado
(7/7/2021)

Connecticut
(7/7/2021)

Delaware
(7/7/2021)

District of Columbia
(7/7/2021)

Florida
(7/7/2021)

Georgia
(7/7/2021)

Hawaii
(7/7/2021)

Idaho
(7/7/2021)

Illinois
(7/7/2021)

Indiana
(7/7/2021)

Iowa
(7/7/2021)

Kansas
(7/7/2021)

Kentucky
(7/7/2021)

Louisiana
(7/7/2021)

Maine
(7/7/2021)

Maryland
(7/7/2021)

Massachusetts
(7/7/2021)

Michigan
(7/7/2021)

Minnesota
(7/7/2021)

Mississippi
(7/7/2021)

Missouri
(7/7/2021)

Montana
(7/7/2021)

Nebraska
(7/7/2021)

Nevada
(1/19/2022)

New Hampshire
(7/7/2021)

New Jersey
(7/7/2021)

New Mexico
(7/7/2021)

New York
(7/7/2021)

North Carolina
(7/7/2021)

North Dakota
(7/7/2021)

Ohio
(7/7/2021)

Oklahoma
(7/7/2021)

Oregon
(7/7/2021)

Pennsylvania
(7/7/2021)

Puerto Rico
(7/7/2021)

Rhode Island
(7/7/2021)

South Carolina
(7/7/2021)

South Dakota
(7/7/2021)

Tennessee
(7/7/2021)

Texas
(7/7/2021)

Utah
(7/7/2021)

Vermont
(7/7/2021)

Virgin Islands
(7/7/2021)

Virginia
(7/7/2021)

Washington
(7/7/2021)

West Virginia
(7/7/2021)

Wisconsin
(7/7/2021)

Wyoming
(7/7/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/24/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/10/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/29/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 9/10/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/29/2002

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Aaron D. Shapley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Aaron David Shapley's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/15/2005

SIE

Date: 10/1/2018

Series 31

Date: 5/24/1999

Series 7

Date: 5/10/1999

Series 51

Date: 9/29/2005

Series 24

Date: 6/1/2005

Series 10

Date: 9/10/2002

Series 9

Date: 4/29/2002

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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